13D Filing: Elliott Associates, L.P. Increases Activist Stake in Alcoa Inc. (AA)

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Page 9 of 9 SEC Filing

Transactions Effected by Elliott Associates, L.P. (through Liverpool) in Call Options at $8 Expiring on June 17, 2016:
Date
Amount of Securities Bought / (Sold)
Price ($) per share or unit (excluding commissions)
Where and how the transaction was effected
01/15/16
17,000
0.4200
Open Market
Transactions Effected by Elliott Associates, L.P. (through Liverpool) in Call Options at $8 Expiring on July 15, 2016:
Date
Amount of Securities Bought / (Sold)
Price ($) per share or unit (excluding commissions)
Where and how the transaction was effected
01/20/16
3,400
0.3900
Open Market
01/15/16
6,800
0.5300
Open Market
The following transactions were effected by Elliott International, L.P. in the Common Stock:
Date
Security
Amount of Shs.
Bought / (Sold)
Approx. price ($) per Share
01/21/16
Common Stock
264,000
7.0900
01/21/16
Common Stock
1,320,000
7.0384
01/21/16
Common Stock
660,000
7.0531
01/21/16
Common Stock
66,000
7.1578
01/21/16
Common Stock
990,000
7.0655
01/20/16
Common Stock
363,000
6.7053
01/06/16
Common Stock
528,000
8.7335
01/06/16
Common Stock
132,000
8.8053
01/05/16
Common Stock
99,000
9.4956
01/05/16
Common Stock
198,000
9.2774
01/04/16
Common Stock
198,000
9.6000
01/04/16
Common Stock
132,000
9.5623
12/31/15
Common Stock
23,628
9.8391
12/10/15
Common Stock
3,654,750
8.7136
12/10/15
Common Stock
3,654,750
8.7136
12/10/15
Common Stock
7,614,750
8.7136
12/10/15
Common Stock
1,650,000
8.7136
12/10/15
Common Stock
7,614,750
8.7136
12/07/15
Common Stock
5,280,000
–*
All of the above transactions were effected on the open market unless indicated otherwise.
Transactions Effected by Elliott International, L.P. in Call Options at $8 Expiring on June 17, 2016:
Date
Amount Of Securities Bought / (Sold)
Price ($) Per Share or Unit (Excluding Commissions)
Where and How the Transaction was Effected
1/15/16
33,000
0.4200
Open Market
Transactions Effected by Elliott International, L.P. in Call Options at $8 Expiring on July 15, 2016:
Date
Amount Of Securities Bought / (Sold)
Price ($) Per Share or Unit (Excluding Commissions)
Where and How the Transaction was Effected
01/20/16
6,600
0.3900
Open Market
01/15/16
13,200
0.5300
Open Market
Transactions Effected by Elliott International, L.P. in Physically Settled Swaps:
Date
Amount Of Securities Bought / (Sold)
Price ($) Per Share or Unit (Excluding Commissions)
Where and How the Transaction was Effected
12/10/15
(24,189,000)
8.7136
OTC

* Shares acquired upon exercise of options.

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